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Investment Consultant

Madison, Wisconsin, United States
August 26, 2018

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Joshua R. Grotheer

**** ****** ****

Madison, Wisconsin 53713



University of Iowa – Iowa City, IA

B.A. Economics


Candidate – Certified Financial Planner® Current

Series 7: General Securities Representative Exam Current Series 63: Uniform Securities Agent State Law Exam Current Series 66: Uniform Combined State Law Exam Current State Annuity, Life and Health Insurance – Wisconsin, Illinois and Iowa Current PROFESSIONAL EXPERIENCE

Fidelity Investments – Investment Consultant, Madison, WI January 2012 – Current

Initiate and strengthen relationships with current and prospective clients through lead utilization, local market development, seminars, and community involvement

Articulate a deep understanding of financial markets and educate clients on the importance of having a financial plan, with an emphasis on investment and income protection during volatile markets

Uncover external assets, discuss benefits of consolidation and transition to appropriate relationship or service model, including High Net Worth clientele

Utilize Consultative Selling Skills to effectively present Fidelity solutions for current and prospective clients

Proficient at using Salesforce to run the business efficiently and effectively

Maintain a high number of referrals from existing clients to new customers resulting in 40% of net flows for 2017

Participate in joint appointments with all Investor Center Associates to observe their best practices and enhance overall process while continuing to mentor and upskill for personal career development

Complete off-site seminars and career fairs for UW Medical Foundation and John Deere

2017 results: $26.2mm net new assets, $12.4mm managed money and insurance, $9.4mm mutual funds

2018 goals: $30mm net new assets, $18mm managed money and insurance, $12mm mutual funds The Vanguard Group – Assigned Representative, Flagship Services, Scottsdale, AZ January 2010 – January 2012

Managed a book of business of 616 households with a net worth of $1.26 billion in assets

Served as primary relationship for all aspects of private wealth management; aligning Vanguard’s investment philosophy with clients’ needs to help consolidate external assets and further develop each relationship

Conducted ongoing needs-analysis to identify High Net Worth clients’ financial goals and position appropriate recommendations

Recognized opportunities through strategic investment portfolio analysis to consolidate additional client assets

Ultimately responsible for client satisfaction for myself and the firm through client surveys – NPS of 72 in 2011 Independent Capital Management, Inc. – Financial Advisor, Phoenix, AZ April 2008 – December 2009

Developed and strengthened relationships with both individual and small business clients by educating them on current financial market conditions and any potential impacts to their investment policy

Analyzed client information to recommend appropriate solutions to fulfill individual investment needs, including mutual funds, income annuities, life insurance, and collaboration with a local attorney to create Trust accounts

Worked exclusively on referrals from existing clients US Bank – Southwest Branch, Iowa City, IA; Phoenix Main Branch, Phoenix, AZ February 2006 – March 2008

Closed over $1 million in small business and personal loans in Q4 of 2007

Discovered and developed new personal and small business opportunities through networking in the community

Direct contributor of a team that produced the highest overall percentage of sales in all of central and eastern Iowa in FY 2007


Fidelity – #1 producer in the country July 2018, Top 15% YTD 2018

Vanguard – Achieved a personal Net Promoter Score of 72

US Bank – #1 overall banker for three consecutive quarters at Phoenix Main Branch for sales and customer service LEADERSHIP/COMMUNITY SERVICE

Board member – Arbor Hills Neighborhood Association 2018 – present

President – Pi Kappa Alpha Fraternity, Gamma Nu Chapter 2003 – 2004

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